Related provisions for PERG 7.4.13

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FEES 1.1.1GRP
(1) FEES applies to all persons required to pay a fee or levy under a provision of the Handbook. The purpose of this chapter is to set out to whom the rules and guidance in FEES apply. 30(2) FEES 2 (General Provisions) contains general provisions which may apply to any type of fee payer.30(3) FEES 3 (Application, Notification and Vetting Fees) covers one-off fees payable on a particular event for example:3330(a) 33various application fees (including those in relation to authorisation,
SUP 11.8.1RRP
A firm must notify the appropriate regulator9 immediately it becomes aware of any of the following matters in respect of one or more of its controllers: 9(1) if a controller, or any entity subject to his control, is or has been the subject of any legal action or investigation which might put into question the integrity of the controller; (2) if there is a significant deterioration in the financial position of a controller; (3) if a corporate controller undergoes a substantial
SYSC 4.1.4RRP
A firm (with the exception of a common platform firm and a 21sole trader who does not employ any person who is required to be approved under section 59 of the Act (Approval for particular arrangements))3 must, taking into account the nature, scale and complexity of the business of the firm, and the nature and range of the financial services and activities 3undertaken in the course of that business:310(1) (if it is 21a management company)10 establish, implement and maintain decision-making
PERG 8.17.13GRP
Introducers can check whether a person is an authorised person or an appointed representative by visiting the FCA's register at www.fca.org.uk/firms/financial-services-register.If an authorised person has permission to carry on a regulated activity (which can be checked on the FCA's register) it is reasonable, in the FCA's view, to conclude that the authorised person carries on that activity (but not a controlled activity which is not a regulated activity). The FCA would normally
FEES 10.5.4RRP

Table of rules in FEES 4 that also apply in FEES 10.

FEES 4 incorporated into FEES 10

Description

Modifications

FEES 4.2.4 R

Method of payment

none

2

2

2

2

2

2

2FEES 4.2.7ER

Modifications for persons becoming subject to periodic fees during the course of a fee year

none

2FEES 4.2.7FR

Calculating the fee in the firm’s first year of authorisation

none

2 FEES 4.2.7GR

Calculating fees in the second fee-year where the firm received permission between 1 January and 31 March in its first fee year

none

2FEES 4.2.7HR to FEES 4.2.7KR

Calculating all other fees in the second and subsequent years of authorisation where a full year of tariff data is not available

none

FEES 4.2.8 R

How FEES 4.2.7 R applies to an incoming EEA firm or an incoming Treaty firm

none

FEES 4.2.9 G

Fee payers ceasing to hold relevant status or reducing the scope of their permission after start of relevant period

Reference to column (1) of the table in FEES 4.2.11 R is a reference to FEES 10.1.2 G

FEES 4.3.7 R

Groups of firms

Reference to FEES 4.2.1 R is a reference to FEES 10.2.1 R.

FEES 4.3.13 R

Firms applying to cancel or vary permission before start of period

Reference toFEES 4.2.1 R is a reference to FEES 10.2.1 R.

FEES 4.3.17R2

Firms acquiring businesses from other firms

Reference to FEES 4.2.7ER to FEES 4.2.7KR2 is a reference to FEES 10.2.5 R

Reference to FEES 4.2.1 R is a reference to FEES 10.2.1 R

FEES 4.4.1 R to FEES 4.4.6 R

Information on which fees are calculated

none
SUP 18.3.1GRP
Under section 115 of the Act, the appropriate regulator3 has the power to give a certificate confirming that a firm possesses any necessary margin of solvency,1 to facilitate an insurance business transfer to the firm under overseas legislation from a firm authorised in another EEA State or from a Swiss general insurance company. This section provides guidance on how the appropriate regulator3 would exercise this power and on related matters.313
PERG 2.6.4GRP
In addition, several separate exclusions focus on the identity of the person paying the money or the person receiving it (or both).(1) Payments by certain persons are excluded if they are made by specified persons (such as local authorities or national, or supranational, bodies) or by persons acting in the course of a business consisting wholly or partly of lending money.(2) Exclusions apply for sums paid between certain persons who are linked in a specified way (such as group
BIPRU 7.10.55XRRP
3A firm must demonstrate through backtesting or other appropriate means that its all price risk measure can appropriately explain the historical price variation of these positions. A firm must be able to demonstrate to the appropriate regulator that it can identify the positions within its correlation trading portfolio, in relation to which it is authorised to use the all price risk measure, separately from those other positions in relation to which it is not authorised to do
BIPRU 3.4.32RRP
Without prejudice to BIPRU 3.4.33 R to BIPRU 3.4.47 R, exposures to financial institutions authorised and supervised by the competent authorities responsible for the authorisation and supervision of credit institutions and subject to prudential requirements equivalent to those applied to credit institutions must be risk weighted as exposures to institutions.[Note: BCD Annex VI Part 1 point 24]
SUP 12.4.1AGRP
1The effect of sections 20 (Authorised persons acting without permission) and 39(4) (Exemption of appointed representatives) of the Act is that the regulated activities covered by an appointed representative's appointment need to:(1) fall within the scope of the principal's permission; or(2) be excluded from being regulated activities when carried on by the principal, for example because:141111(a) 14they fall within article 28 of the Regulated Activities Order (Arranging transactions
CASS 5.5.46GRP
A firm will be expected to perform due diligence when opening a client bank account with a bank that is authorised by an EEA regulator. Any continuing assessment of that bank may be restricted to verification that it remains authorised by an EEA regulator.
PERG 8.4.31GRP
A person ('P') may be engaged, typically by investment product companies, to provide telephone services. Where such services require P to seek to persuade or incite prospective customers to receive investment literature or a personal call or visit from a representative of his principal they will frequently involve inducements to engage in investment activity. This is so whether the inducement results from P making unsolicited calls or by his raising the issue during a call made
COLL 5.2.23RRP
A transaction in an OTC derivative under COLL 5.2.20 R (1) (b) or, for the purposes of (1) only, executed by or on behalf of a regulated money market fund,23 must be:(1) with an approved counterparty; a counterparty to a transaction in derivatives is approved only if the counterparty is:(a) an eligible institution or an approved bank; or(b) a person whose permission (including any requirements or limitations), as published in the Financial Services Register, or whose Home State